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Current Employers
Ostrofe Financial Consultants Inc

420 Sierra College Drive Suite 200, Grass Valley, CA 95945 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-06-26
  • CA RA
    APPROVED
    Since 2018-06-26

Branch Locations

565 Brunswick Road, Suite 15, Grass Valley, CA 95945 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Westwood Global Investments, Llc Boston MA 01/2010 04/2017
Ostrofe Financial Consultants, Inc. Grass Valley CA 09/2017 Present
Lpl Financial Grass Valley CA 04/2018 Present
Self-Employed Cambridge MA 05/2017 08/2017
  • 01/2010 → 04/2017
    Westwood Global Investments, Llc
    Boston, MA
  • 09/2017 → Present
    Grass Valley, CA
  • 04/2018 → Present
    Lpl Financial
    Grass Valley, CA
  • 05/2017 → 08/2017
    Self-Employed
    Cambridge, MA
Other Businesses

1. 4/24/2018 - Ostrofe Financial Consultants - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/05/2018 - 160 Hours Per Month/8 Hours During Securities Trading - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 50%. 2. 7/2/2018 - Ostrofe Financial Consultants Inc - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date:09/05/2018 - 160 Hours Per Month/8 Hours During Trading - Time Spent: 50% - I provide investment advisory services through Ostrofe Financial Consultants Inc, LLC, an independent investment advisor firm. I started this business activity on 7/2/2018. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-06-18
  • S66 Uniform Combined State Law Examination
    2018-06-18
Designations

View on SEC IAPD

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